<p>Letter addresses circumstances under which persons must report events involving a fixed annuity insurance product.</p>
REQUEST FOR COMMENT
Best Execution
Comment Period Expires on: August 9, 2002
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Legal & Compliance
Market Making
Operations
Registered Representatives
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Trading
Best Execution
Executive Summary
NASD requests comment from members, investors, and other interested parties on proposed amendments to NASD Rule 2320(a) (
ACTION REQUESTED
Rule Modernization Project
Comment Period Expires: July 2, 2001
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Rule Review
Rule Modernization
Executive Summary
Over the past several years, NASD Regulation, Inc. (NASD Regulation) has conducted a comprehensive review of many of the National
REQUEST FOR COMMENT
Membership Application Rules
Comment Period Expires: September 20, 2002
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Legal & Compliance
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Membership Application Process
Membership Continuation Process
Rule 1014
Rule 1017
Executive Summary
NASD requests comment on proposed amendments to Rules 1014 and 1017. Rule 1017(a) sets forth certain
INFORMATIONAL
Selling Away And Outside Business Activities
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Executive Representatives
Insurance
Legal & Compliance
Operations
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Outside Business Activities
Private Securities Transactions
Promissory Notes
NASD Rule 3030
NASD Rule 3040
Supervision
Executive Summary
NASD Regulation, Inc. (
SUGGESTED ROUTING
Senior Management
Government Securities
Internal Audit
Legal & Compliance
Operations
Registration
Executive Summary
Effective June 12, 1995, the Department of the Treasury (Treasury) is adopting amendments to Form G-405, Report on Finances and Operations of Government Securities Brokers and Dealers (FOGS Report), and to Form G-FIN-4, Disclosure Form for Person
INFORMATIONAL
Continuing Education
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Continuing Education/Testing/Qualifications
Legal & Compliance
Registration
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Continuing Education Regulatory Element Notification
Written Supervisory Procedures
Executive Summary
National Association of Securities Dealers, Inc. (NASD®) firms are reminded that the Web Central
(a) Reportable Transactions
Members shall comply with the Rule 7300 Series when reporting transactions to the System, including executions of less than one round lot if those executions are to be compared and locked-in. All trades that are reportable transactions will be processed pursuant to an effective transaction reporting plan. Trades that are not already locked-in trades will be compared
The Neutral Corner - Volume 4—2022
ACTION REQUESTED
Required Disclosures For Securities Recommendations
Comment Period Expires August 15, 2001
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Legal & Compliance
Operations
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Analyst Disclosures
Communication With The Public
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) requests comment from National
